Warning: mysql_get_server_info() [function.mysql-get-server-info]: [2002] No such file or directory (trying to connect via unix:///var/run/mysqld/mysqld.sock) in /data/15/1/115/21/1441510/user/1548793/htdocs/blog/wp-content/plugins/advanced-category-excluder/advanced-category-excluder.php on line 128

Warning: mysql_get_server_info() [function.mysql-get-server-info]: No such file or directory in /data/15/1/115/21/1441510/user/1548793/htdocs/blog/wp-content/plugins/advanced-category-excluder/advanced-category-excluder.php on line 128

Warning: mysql_get_server_info() [function.mysql-get-server-info]: A link to the server could not be established in /data/15/1/115/21/1441510/user/1548793/htdocs/blog/wp-content/plugins/advanced-category-excluder/advanced-category-excluder.php on line 128
The SIPA | 2014 | January

The SIPA

The Blog Of The Securities Industry Professional Association
Ads

Archive for January, 2014

A World Governed by FINRA

How would other industries would handle playing in a brokers’ world ? Over the years at conferences and cocktail parties I often hear Brokers and BD owners lament about the restrictions placed on them compared to other industries.  Indeed it is a very regulated world in the securities industry and the amount of rules, regulations, reports, […]
Comments Off on A World Governed by FINRA